2010, Exercises and Military - Information Management Today

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2010

Exercises

Military

SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers

Data Matters

FEBRUARY 20, 2020

FINRA will review whether firms have reasonably designed supervisory systems to detect and address registered representatives exercising discretion without written authorization from the client, as required under FINRA Rule 3260 (Discretionary Accounts). Market Integrity.

Retail

Retail Compliance Marketing Risk

SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

Data Matters

JANUARY 24, 2020

OCIE also will focus on recommendations and advice provided to retail investors, with a particular emphasis on seniors, retirees, teachers and military personnel, as well as products that the SEC considers higher risk (e.g., Market Integrity.

Cybersecurity

Cybersecurity Retail Compliance Marketing

SEC and FINRA Issue 2020 Examination Priorities for Broker-Dealers and Investment Advisers

SEC and FINRA Issue 2020 Examination Priorities (Including Cybersecurity) for Broker-Dealers and Investment Advisers

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